State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
3 ways politics affected PPACA plan demand
By Allison BellYou have a marketing plan for Millennials. What about for Republicans?
November 19, 2014
The case for providing ethics training for your staff, and dangers that lie in failing to do soIt is estimated that about one in seven agents with E&O coverage will report a potential claim to their carrier.
November 17, 2014
10 Scariest States Ranked by Pension PromisesIf the nation had an actuary-in-chief examining state pension systems, he'd have to declare the state of the states bleak.
November 13, 2014
5 ways small-group exchange plans went wrongThe GAO says one thing exchanges could do is work better with agents.
November 12, 2014
How states can save PPACA without waiting for courtsIn the states with HHS-run exchanges, 5 million constituents have PPACA plan subsidies.
November 06, 2014
Actions against BD agents, unlicensed individuals jumped in ’13: NASAAWhile actions against BD firms decreased, actions against licensed advisor reps jumped.
November 04, 2014
Actions Against BD Agents, Unlicensed Individuals Jumped in ’13: NASAAThe majority of state securities enforcement actions involve unlicensed individuals, NASAA says.
November 03, 2014
Top 15 States With Best 401(k) Participation RatesNationwide, only 71.6% of participants have contributed to their workplace 401(k) plan in the most recent plan year, a new Judy Diamond study says.